Up to £40000 per annum
7 months ago
My client, a well-established financial planner based in Nottingham are looking to grow their team due to expansion. They are looking for an experienced Technical Paraplanner to join their company. Working office hours 9.00am - 5.00pm Monday to Friday.
- To provide support, information, recommendations and financial analysis to the Financial Planners in order to provide our clients with excellent service and outcomes.
- Identify and discuss areas for planning with the adviser.
- Undertake relevant research to identify suitable solutions to meet a client's specific objectives.
- Prepare draft suitability letters to be discussed and signed.
- Responsible for the completeness and accuracy of the information on which client recommendations are made.
- When instructed, ensure changes to a client's investment portfolio are made, and made accurately and promptly.
- Ensure any updates and reports are issued to clients in a timely manner.
- Review client investment portfolios, asset allocations, risk profile etc. at the appropriate time.
- Either directly or by way of the Administration Team, obtaining information from third parties to assist with the production of financial plans including factsheets, illustrations and product literature.
- To provide drafts of investment updates and other client communications to the Financial Planners for consideration. This includes reports, letters and other methods of communication.
- Ensure all dealings with clients are carried out in a professional, prompt, accurate and courteous manner.
- Ensure all necessary supporting documentation is maintained according to our procedures including the collation of any quantitative detailed information required to support any recommendations to be made.
- Maintain a detailed knowledge and understanding of the firm's compliance procedures including record keeping requirements. Comply with our internal rules and processes and notify a senior person immediately if there is any breach, or risk of there being a breach.
- Maintain an understanding of how advice is given to clients in a compliant manner.
- Comply with the Financial Services Act 2012, the FCA Statements of Principles & Code of Practice and the relevant Financial Conduct Authority rules always.
- Comply with the relevant compliance, TCF, T&C and financial crime (anti-money laundering, data security, anti-bribery, fraud and corruption) procedures of the firm always.
- Understand additional compliance requirements for external individuals (KPMG/Deloittes etc.) and ensure that relevant processes are adhered to.
- Maintain enough CPD records in alignment with the firm's Training and Competence Plan.
- Keep up to date with the issues concerning all relevant products, including legislative and technical changes.
- Be able to use the necessary tools to deliver your work, including but not limited to the Cash flow, Wealth Plan Update and Rebalancer processes/systems.
- Collate all the quantitative detailed information required to support any recommendations to be made.
- Ensure all relevant paperwork held within a client file is present, relevant and compliant.
- Discuss client objectives with the adviser.
- Polite, pro-active, excellent manner, relational, attention to detail, team player.
- Excellent organisational and planning skills with ability to prioritise workload and work to deadlines.
- Experienced financial services technician.
- Competent user of in-house rebalance software.
- Produce whatever is required to meet clients' expectations.
- On time delivery of technically correct suitability letters/reports.
- Cohesion, collaboration and co-operation within the Fiscal team.
- £40,000 circa basic salary + discretionary bonus
- 28 days holiday
- Pension contribution
- Death in Service
- Support for training and additional qualifications
- Days out
GCB Agency Recruitment Ltd is acting as an Employment Agency in relation to this vacancy.